Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Steven Graham: SEC Charges Valencia Advisor in GWG L Bond Complaint
Valencia, California financial advisor Steven Graham (CRD# 1977736) allegedly recommended unsuitable GWG L bond investments, according to Securities and Exchange Commission charges. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities, which has also been charged with fraud by the SEC.
John Starke: $320K Complaint Against Centaurus Advisor
Mechanicsville, Virginia financial advisor John Starke (CRD# 3154774) recently received an investor complaint alleging his investment advice resulted in losses of more than $300,000. Financial Industry Regulatory Authority records show that he is a broker with Centaurus Financial, also registered with the firm’s office in Southport, North Carolina.
Hillard Rest: $290K GWG L Bond Complaint Against Newport Beach Advisor
Newport Beach financial advisor Hillard Rest (CRD# 858840) has received several investor complaints alleging negligence, fraud, and other forms of misconduct related to GWG L bond investments. Financial Industry Regulatory Authority records show that he is a broker with JRL Capital Corporation and a representative of Hillard Rest Associates.
Gregory Richards: $500K Complaint Against Liberty Wealth Advisor
Gregory Richards (CRD# 1339012), a financial advisor in Scottsdale, Arizona, recently received an investor complaint alleging his advice led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Kingswood Capital Partners and Kingswood Wealth Advisors, respectively, doing business as Liberty Wealth Management.
Mike Valenta: Oil & Gas Complaint Against Cambridge Advisor
Westminster, Colorado financial advisor Mike Valenta (CRD# 1386978) has received several investor complaints alleging he recommended unsuitable and/or concentrated investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research.
Chris Keelin: $250K Complaint Against Money Concepts Advisor
Alabaster, Alabama financial advisor Chris Keelin (CRD# 1455741) has received an investor complaint alleging he made misrepresentations that resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with Money Concepts Capital Corp.
David Feigeles: $3.5 Million Complaint Against Oppenheimer Advisor
A recent investor complaint against Melville, New York financial advisor David Feigeles (CRD# 1530561) alleges he engaged in unauthorized trading and other forms of misconduct, resulting in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Oppenheimer & Company.
Tony Pitta: Capital Investment Advisor Has $625K Complaint
Melville, New York financial advisor Tony Pitta (CRD# 1958029) is involved in an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Capital Investment Group, as well as the owner of Fiduciary Advisory Services.
Jeffrey Noard: $100K Complaint Against Ex-Cabot Lodge Advisor
Menomonee Falls, Wisconsin financial advisor Jeffrey Noard (CRD# 1983392) allegedly recommended high-risk, illiquid investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Emerson Equity, doing business as Premier Legacy Wealth Management.
Cary Urich: $5 Million ETF Complaint Against United Planners Advisor
Greenville, South Carolina financial advisor Cary Urich (CRD# 2132001) recently received an investor complaint alleging his conduct resulted in as much as $5 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with United Planners’ Financial Services of America, doing business as Streamline Asset Management.
